RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
K•••••• L•• H•••••
- O•••• I••••••••• I••• BD affiliated currentsince Sep 3, 2013 · Lynchburg, Va
- M•••••• A••••• S••••••••• L•• BD affiliatedJul 21, 2009 to Sep 3, 2013 · San Diego, Ca
- W•••• F•••• A••••••• wirehouseJun 20, 2002 to Jun 26, 2009 · Forest, Va
- W••••••• S••••••••• I••• unclassifiedJul 5, 2000 to Jun 20, 2002 · Charlotte, Nc
- M•••••• A••••• S••••••••• L•• to O•••• I••••••••• I•••left Sep 3, 2013, registered Sep 3, 2013 (0 days) · Other
- W•••• F•••• A••••••• to M•••••• A••••• S••••••••• L••left Jun 26, 2009, registered Jul 21, 2009 (25 days) · Other
- W••••••• S••••••••• I••• to W•••• F•••• A•••••••left Jun 20, 2002, registered Jun 20, 2002 (0 days) · corporate re-registration, not a move
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address